Frequently Asked Questions

CLICK HERE FOR THE FAILURE TO FILE NOTICE FAQs 

About the EEO-1 Component 1 Report

 

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What is the EEO-1 Component 1 Report?

What is the EEO-1 Component 1 Report?

Since 1966, the EEOC has required EEO-1 filers to submit demographic data on an annual basis. All private employers that are covered by Title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e, et. seq., as amended (Title VII) and that have 100 or more employees are required to file the EEO-1 Component 1 Report. In addition, the Office of Federal Contract Compliance Programs (OFCCP) regulations require certain federal contractors to file the EEO-1 Component 1 if they have 50 or more employees and are not exempt as provided for by 41 CFR 60-1.5.

Employers meeting the reporting thresholds have a legal obligation to submit annual workforce data on their employees by race/ethnicity, sex and job category. The data include seven race/ethnicity categories and 10 job categories. EEO-1 Component 1 data are used by the EEOC to investigate charges of employment discrimination against employers and to provide information about the employment status of minorities and women.

Filing Deadline

What is the EEO-1 Component 1 filing deadline?

The deadline for submitting 2019 and 2020 EEO-1 Component 1 data is Monday, October 25, 2021.

Data Security and Confidentiality

Is EEO-1 Component 1 data confidential?

All reports and any information from individual reports are subject to the confidentiality provisions of Section 709(e) of Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e-8(e), as amended (Title VII) and may not be made public by the EEOC prior to the institution of any proceeding under Title VII involving the EEO-1 Component 1 data. Any EEOC employee who violates this prohibition may be found guilty of a criminal misdemeanor and could be fined or imprisoned. The confidentiality requirements allow the EEOC to publish only aggregated data, and only in a manner that does not identify any particular filer or reveal any individual employee’s personal information.

What Employers (i.e., Companies) Must File?

What companies are required to file the EEO-1 Component 1 Report?

The following companies are required to file the EEO-1 Component 1 Report annually:
  1. Private employers (who are subject to Title VII of the Civil Rights Act, as amended) with 100 or more employees.
  2. Federal government prime contractors or first-tier subcontractors subject to Executive Order 11246, as amended who are not exempt as provided for by 41 CFR 60-1.5, with both 50 or more employees and a prime contract, first-tier subcontract or purchase order amounting to $50,000 or more.
  3. Companies that serve as a depository of Government funds in any amount or as a financial institution which is an issuing and paying agent for U.S. Savings Bonds and Savings Notes and have 50 or more employees.

If a company or establishment has less than 100 employees but is associated with other company(s) or a parent company where the entire enterprise employs a total of 100 or more employees. Does the company need to file an EEO-1 Component 1 Report?

If an establishment is affiliated through common ownership and/or centralized management with other entities in an enterprise with a total employment of 100 or more, the common ownership headquarters must file the EEO-1 Component 1 Report. The headquarters or parent company must file for all its subsidiaries and establishments/locations.

If a company only has 50 or more employees OR a federal government contract worth $50,000 or more, but not both, is it necessary to file?

No, a company must meet both requirements of at least 50 employees and a federal government contract, subcontract or purchase order amounting to $50,000 or more to meet the filing requirements.

Why must my company submit and certify its 2019 EEO-1 Component 1 report BEFORE it can submit and certify its 2020 EEO-1 Component 1 report?

Data generated by a company for its 2019 EEO-1 Component 1 report(s) populates data for the 2020 EEO-1 Component 1 report(s). For example, the resulting PDFs generated for a company’s 2019 report(s) will display the company’s employee numbers from the previous year (i.e., 2018). The same holds true for the company’s 2020 report(s). Additionally, several checks and comparisons within the EEO-1 Component 1 Online Filing System are conducted using data from the previous filing year. For example, changes in the number of employees and establishments as well as address changes must be checked against data from the previous year. These checks and comparisons provide additional mechanisms to ensure the technical integrity of the information submitted as well as an additional quality control review of the data.

Are there any employers exempt from filing the EEO-1 Component 1 Report?

Biennially, State and local governments with 100 or more employees should file the State and Local Government Information EEO-4 report public elementary and secondary school districts with 100 or more employees are required to file an Elementary-Secondary Staff Information Report EEO-5 report and local referral unions with 100 or more employees should file a Local Union Report EEO-3 report. Institutions of higher education, American Indian or Alaska Native tribes and tax-exempt private membership clubs other than labor organizations are exempt from filing EEO-1 Component 1 Reports. However, non-profits and not for profit organizations are required to file the EEO-1 Component 1 Report.

Preparing to File

 

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Company Information

What is the significance of the EIN identification number?

The EIN is assigned by the IRS and is used to identify business entities. Filers must identify the employer identification number (EIN) for each company establishment that has a different address and/or NAICS code. Companies will be required to provide an EIN for each establishment location when filing the EEO-1 Component 1 annual report.

What is the appropriate NAICS code?

The North American Industry Classification System (NAICS) code is based on the standardized classification system which groups establishments by primary business activity. Each employer establishment should have an appropriate NAICS code. NAICS codes are updated by the U.S. Office of Management and Budget (OMB) every five years. To identify the correct NAICS code for each establishment, please reference this 2012 to 2017 NAICS crosswalk .

How to Count Employees

What is a workforce snapshot pay period?

The workforce snapshot pay period is a single pay period, selected by the employer, within the last quarter to count employees for the EEO-1 Component 1 filing. Examples of pay periods are: weekly, every two weeks, twice a month, etc.

Which workforce snapshot pay period (i.e., pay period) must employers use to extract EEO-1 Component 1 employment data?

Employment data must be pulled from one pay period in October, November or December of the current data collection year. This is referred to as the workforce snapshot pay period.

Do companies need to select the same workforce snapshot pay period for 2019 and 2020?

No. Companies may select different workforce snapshot pay periods for 2019 and 2020.

Which Employees Must Be Included in the Report

Are employers required to report employees who were employed during the selected workforce snapshot pay period even if they were no longer active employees by December 31st of the data collection year?

Yes. Even if an employee resigned or was terminated before December 31 of that year, the employee must be reported if the employee was employed during the selected workforce snapshot pay period.

Should part-time employees be included in the report?

Yes. Both full and part-time employees must be included in EEO-1 Component 1 Reporting.

Does the EEO-1 Component 1 Report require data on applicants who were not hired or employed during the selected workforce snapshot pay period?

No. The EEO-1 Component 1 Report only requires data on current employees during the selected workforce snapshot pay period.

How should employees who work remotely (i.e., telework) be reported on the 2019 and 2020 EEO-1 Component 1 Reports?

Employees who work remotely (i.e., telework) must be included in the EEO-1 Component 1 Report for the establishment to which they report. Under no circumstances should an employee’s home address be reported on any EEO-1 report.

What if, for example, because of the COVID-19 Pandemic, an employee did not work at any of the employer’s physical work locations?

Generally, and in most instances, the temporary closure of a physical work site will not affect how employees are counted on the EEO-1 Component 1 Report. The fact that most, or even all, employees are teleworking would typically not change EEO-1 reporting if the employees continue to be assigned to, or report to, a physical location or establishment. Those employees should be included on the EEO-1 establishment report for the physical location to which they are assigned or report. If the employer has closed an establishment and reassigned employees from the closed establishment to another location, the reassigned employee should be included at the establishment to which that employee reports or has been reassigned. Under no circumstances should an employee’s home address be reported on any EEO-1 report.

What if a remote employee is not assigned to and does not report to any physical location on a permanent basis (i.e., not due to a temporary closure of an establishment)?

In those circumstances, the employee should be counted at the establishment to which the employee’s manager reports or is assigned. If an employee does not report to an establishment and the employee’s manager also does not report to an establishment, the employee (and their manager) should be included on the employer’s EEO-1 Headquarters Report. Under no circumstances should an employee’s home address be reported on any EEO-1 report.

What if an employer operates entirely remotely and does not have any physical location (not even a headquarters office)? How should employees be reported?

In such a situation, employees should be included on the EEO-1 Headquarters Report. For purposes of the EEO-1 Report, the employer should report the address where the business is legally registered, for example, a Post Office box in lieu of a physical address. Under no circumstances should an employee’s home address be reported on any EEO-1 report.

How to Classify Employees into Categories

How do employers determine an employee’s race/ethnicity?

Self-identification is the preferred method of identifying race/ethnicity information necessary for the EEO-1 Component 1 Report. Employers are required to attempt to allow employees to use self-identification to complete the EEO-1 Component 1 Report.

As to the method of collecting data, the basic principles for ethnic and racial self-identification for purposes of the EEO-1 Component 1 Report are: (1) offer employees the opportunity to self-identify; (2) provide a statement about the voluntary nature of this inquiry for employees.

What if employees decline to self-identify their race/ethnicity?

Self-identification is the preferred method of identifying race/ethnicity information necessary for the EEO-1 Component 1 Report. Employers are required to attempt to allow employees to use self-identification to complete the EEO-1 Component 1 Report. However, if employees decline to self-identify their race/ethnicity, employment records or observer identification may be used. Where records are maintained, it is recommended that they be kept separately from the employee’s basic personnel file or other records available to those responsible for personnel decisions.

Our company is now collecting gender beyond the male/female binary. We would like to report this for the EEO-1 Component 1 2019 and 2020 data collection. How do we report it?

Filers may choose to report employee counts for non-binary gender employees by job category and race/ethnicity in the comment box on the Certification Page in the EEO-1 Component 1 Online Filing System. Please preface this data with the phrase “Additional Employee Data:”. For example, “Additional Employee Data: 1 non-binary gender employee in Job Category Administrative Support Workers; Race/Ethnicity: White (Not Hispanic or Latino). 3 non-binary gender employees in Job Category Professionals; Race/Ethnicity: Employee 1 – Black or African American (Not Hispanic or Latino), Employee 2 – Hispanic or Latino, Employee 3 – Two or More Races (Not Hispanic or Latino).”

How do employers classify employees into the job categories listed in the EEO-1 Component 1 Report?

The EEO-1 Component 1 job categories are based on employee skill level, knowledge, and responsibilities. They are designed to reflect common company hierarchies. Employers should select the category which best reflects the job function performed by each employee.

For help, please see the EEO-1 Component 1 Job Classification Guide that maps Standard Occupational Classifications (SOC), occupational titles and 3-digit Census Job Codes to the EEO-1 Component 1 Job Categories.

Detailed descriptions of the job classifications can also be found in the Instruction Booklet.

Foreign (non-United States) Affiliations

Do employers report establishments or locations that are outside of the U.S.?

No. Companies should not include establishments or locations that are outside of the 50 United States or the District of Columbia. No reports should be filed for establishments in Puerto Rico, the Virgin Islands or other American Protectorates.

How do employers report employees if the company is foreign-owned?

For companies that are foreign-based without a US-based headquarters, each subsidiary or holding within the U.S. must file its own EEO-1 Component 1 Report. In this instance, one subsidiary may take responsibility for filing for all company entities in the U.S., but the companies are not required to file jointly. However, if there is an established U.S.-based headquarters, the headquarters is responsible for filing for any and all subsidiaries/holdings in the U.S.

Single or Multi-Establishments

What is an establishment?

An establishment is generally a single physical location where business is conducted or where services or industrial operations are performed. Units or offices at different physical locations, even though engaged in the same kind of business operation, must be reported as separate establishments.

For businesses involving physically dispersed individual activities (construction, transportation, communications, electric, gas, and sanitary services, oil and gas fields, etc.), it is only necessary to report individual sites if they are treated as separate legal entities. For these locations, the establishment for these employees is the location:

  1. Directly responsible for supervising dispersed activities;
  2. Or, the base from which personnel and equipment operate to carry out these activities (Where these dispersed activities cross State lines, at least one such establishment should be listed for each State involved.)

What is the difference between a single-establishment and a multi-establishment company?

A single-establishment company does business at only one physical address. A multi-establishment company does business at two or more physical addresses.

Single-establishment companies are only required to submit one EEO-1 Component 1 data record/report. Multi-establishment companies are required to submit a) a separate report for the headquarters, b) a separate report for each establishment of the company with 50 or more employees, c) a separate report for each establishment with fewer than 50 employees, and d) a consolidated report that includes all employees.

If a company does business under multiple NAICS codes, do multiple EEO-1 Component 1 Reports need to be filed?

EEO-1 Component 1 Reports are based on physical locations. If the one location has multiple NAICS codes, the filer must use the NAICS code under which the greatest number of employees operate.

If a company’s headquarters is a holding company with zero employees, is it still necessary to file?

If a holding company and its holdings meet the filing requirements, the holding company must file on behalf of all associated companies and establishments.

How do employers report employees who work at client sites?

Employers have the option to either a) report employees working at client sites using the client site address as the location of the establishment, or b) report those employees at a non-client site employer address.

How do employers report employees at U.S. government and military locations that are restricted from disclosure?

When reporting employees located at military sites considered confidential, employers may enter “SECRET” or “CONFIDENTIAL” in the address field and enter the actual city, state and zip code of the military site address.

My company has several establishments that are located at the same address. Do we submit separate reports for each entity?

If the establishments that are located at the same address AND have the same North American Industry Classification System (NAICS) code and the same EIN, the establishments MUST be combined into only one report. These are considered one establishment for EEO-1 Component 1 Reporting.

If my organization has a different (i.e., separate) EIN than my parent company’s corporate headquarters, should I file my EEO-1 Component 1 Reports separately?

No. Your parent company’s corporate headquarters is responsible for filing EEO-1 Component 1 Reports for your company as well as any other commonly owned, controlled, managed or affiliated subsidiaries/holdings.

Getting Started

 

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How Do I File?

What are the options for submitting the EEO-1 Component 1 Report?

The preferred and most efficient method of submitting EEO-1 Component 1 Reports is through the EEO-1 Component 1 Online Filing System or as an electronically transmitted data file (TEXT or CSV) via a data file upload. The filer support page on the website also include data file upload instruction similar to those provided in previous years. For a summary of the data employers will need to collect, please see the Fact Sheets on Preparing Data – Single-Establishment , or Preparing Data – Multi-Establishment .

Is a company now able to file for previously required years if it failed to do so before the deadline?

No. Filers may not submit EEO-1 Component 1 data for previous years once the data collection has closed. The EEO-1 Component 1 Online Filing System does not allow employers to file for previous years. For example, the 2018 EEO-1 Component 1 data collection has closed. Employers can no longer submit 2018 EEO-1 Component 1 Reports to the EEOC. In 2021, filers will first file for 2019 and then file for 2020 because the 2019 data collection was delayed due to the COVID-19 pandemic.

Employers (i.e., Companies) Filing for the First Time

If an employer (i.e., company) has never filed an EEO-1 Component 1 Report before, how can the filer get started?

Visit EEOCdata.org/eeo1, navigate to the registration page and follow the online instructions. After submitting the registration form you will be provided with a Company ID and Passcode. File using the Company ID and passcode that is provided.

If an employer (i.e., company) is required to file the EEO-1 Component 1 Report for the first time, how does a filer obtain an EEO-1 Component 1 company ID and passcode?

Visit EEOCdata.org/eeo1, navigate to the registration page, and follow the online instructions for companies filing for the first time. After submitting the registration form, a filer will receive a Company ID and Passcode. This will be used to create accounts for a company.

Employers (i.e., Companies) That Have Filed Before

How can a filer access a company's profile to begin submitting the EEO-1 Component 1 Report?

All filers will need to create a new user account in 2021 using the company ID and passcode included in the notification letter. This letter was mailed to filers in April 2021. If the company filed previously and has not received your Company ID and passcode, please use filer support page ‘Contact Us’ Form to contact the EEO-1 Component 1 Filer Support Team.

Once the user account is linked to a company, the filer will be able to access the company profile and file the company EEO-1 Component 1 Report via the EEO-1 Component 1 Online Filing System.

How can filers update a company’s point of contact(s) for the EEO-1 Component 1 data collection?

Contact the EEO-1 Component 1 Filer Support Team to submit the company’s updated contact information. This request must be submitted by an authorized official who is currently a point of contact, or include a letter, in electronic PDF format, on company letterhead, from an authorized official of the company, identifying the new contacts.

How can a filer view a company's prior year reports?

If a company has filed in the past, the EEO-1 Component 1 Reports from 2015, 2016, 2017, and 2018 are available in the Online Filing System. From your Company Dashboard, click on Historic Data (Prior EEO-1 Reports) to download prior year reports.

Are companies able to correct employment information provided in prior year reports?

No. Companies are not able to correct or update employment information reported prior to the 2019 and 2020 EEO-1 Component 1 data collections. Companies will be able to correct 2019 and 2020 EEO-1 Component 1 data until these data collections are closed.

Account and Log-in Information

Can filers use login information from the EEO-1 Component 2 data collection?

No. The account information for the now closed EEO-1 Component 2 data collection cannot be used to access the EEO-1 Component 1 Online Filing System. These are two different data collections, using distinct and separate systems.

How can a filer create an account?

Each user will be able to create a unique user account during the registration process. This will be a new account specifically for the 2019 and 2020 EEO-1 Component 1 filing. Once the user account is created, authorized staff can use the Company ID and passcode provided in the advance notification letter to link the company to their account. If a user is authorized to file EEO-1 Component 1 Reports for multiple companies, they can link multiple companies to their user profile.

What should a filer do if a company did not receive (or cannot locate) the advance notification letter that includes the company passcode?

The letters were mailed in April 2021. If a company did not receive the letter by the end of April, check the website for any applicable updates. If the company filed previously and has not received your Company ID and passcode, please use filer support page ‘Contact Us’ Form to contact the EEO-1 Component 1 Filer Support Team. It may be necessary to update the contact information. It will be necessary to verify that the caller is authorized to receive this information. The caller must be an existing point of contact in our records or must provide a letter on company letterhead in electronic PDF format, signed by an authorized company representative authorizing filer access.

The company point of contact has changed since the last data collection. How does a company update a point of contact?

Please use filer support page ‘Contact Us’ Form to submit updated contact information. In the request, please send the following information:

  1. Company Name
  2. EIN
  3. New Contact Name
  4. New Contact Email
  5. New Contact Phone Number
  6. Whether this replaces or adds to existing contacts
  7. New Mailing Address (if applicable)

Can companies include more than one point of contact to receive all communications?

Yes. Companies can include more than one person as the point of contact. Companies can also add additional contacts.

Company Organizational Changes

 

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Mergers

If a company has experienced a merger since the last data collection period, how should these changes be reflected in this year's report?

Mergers that occurred between January 2019 and December 2020 should be reported to the EEO-1 Component 1 Filer Support Team through the filer support page ‘Contact Us’ Form. When contacting the support team, please be prepared to provide the following:

  1. Names and addresses of each establishment of the companies included in the merger including the corporate headquarters and subsidiary establishments (unit numbers, if known).
  2. Company ID and/or EIN for each company (if known).
  3. Name and address of the new company (if applicable).
  4. New company contact information including, name, title, email, and phone number.
Acquisitions

If a company has acquired another company, or establishment(s) of another company, since the last data collection period, how should these changes be reflected in this year's report?

Acquisitions that occurred between January 2019 and December 2020 should be reported to the EEO-1 Component 1 Filer Support Team through the filer support page ‘Contact Us’ Form. When contacting the support team, please be prepared to provide the following:

  1. Name and address of the acquiring company.
  2. Company ID and/or EIN of the acquiring company.
  3. Names and addresses of each acquired company or company establishment(s) (unit numbers, if known).
  4. Company ID and/or EIN for each location involved in the acquisition (if known).
  5. New company contact information including, name, title, email, and phone number, if applicable.
  6. Specify which company is the acquiring company, and which company or establishments are the acquired company or establishments (the company ID of all acquired companies or establishments will be useful).
  7. If the acquiring company acquired a small company that otherwise would not be required to file the EEO-1 Component 1 Report, or has not previously filed, the acquiring company must add the small company and file for the new employees through the EEO-1 Component 1 Online Filing System.

If a company just acquired a small company that was not required to file EEO-1 Component 1 Reports in the past, does the company still need to contact the EEO-1 Component 1 Filer Support Team before filing the EEO-1 Component 1 Report?

When a company acquires another company (“acquiree”) that would otherwise not be required to file EEO-1 Component 1 Reports, the acquiring company can proceed with adding the acquiree’s establishment(s) to the acquiring company’s database in the EEO-1 Component 1 Online Filing System. There is no need to report this change to the EEO-1 Component 1 Filer Support Team prior to filing an EEO-1 Component 1 Report.

Spinoffs

If a company has experienced a spinoff since the last data collection period. How should these changes be reflected in this year's report?

Spinoffs which occurred between January 2019 and December 2020 should be reported to the EEO-1 Component 1 Filer Support Team through the filer support page ‘Contact Us’ Form. When contacting the support team, please be prepared to provide the following:

  1. Provide the current parent company’s Name, Company ID and/or EIN (if known).
  2. Specify the new headquarters for the newly spun off company, as well as the list of all physical addresses or locations that will serve as establishments (unit numbers, if known).
  3. Provide the new company’s contact information including, name, title, email, and phone number.
Bankruptcy

If a company has filed for bankruptcy, are they still required to file the EEO-1 Component 1 Report?

Depending on the effective date of the bankruptcy and the workforce snapshot pay period selected, the company may or may not be required to submit an EEO-1 Component 1 Report. If the company selects a workforce snapshot pay period that occurred prior to the finalization of the bankruptcy, the company is required to file. However, if a company completed the bankruptcy prior to the selected workforce snapshot pay period, then they must contact the EEO-1 Component 1 Filer Support Team through the filer support page ‘Contact Us’ Form with bankruptcy notice documentation showing that the company is now out of business and has ceased operations. The company will then be removed from the mailing list. Until the bankruptcy is complete, the company must continue to file EEO-1 Component 1 Reports as required.

If a company has undergone an asset acquisition, are they still required to file the EEO- 1 Component 1 Report?

No, the company that has been acquired through asset acquisition is not required to file EEO-1 Component 1 Reports under the current company name. The company that acquired the assets must add each acquired establishment through the EEO-1 Component 1 Online Filing System.

Asset acquisitions which occurred since the last data collection period should be reported to the EEO-1 Component 1 Filer Support Team through the filer support page ‘Contact Us’ Form. When contacting the support team, please be prepared to provide the following:

  1. Name and address of the acquiring company.
  2. Company ID and/or EIN of the acquiring company.
  3. Name, address Company ID and/or EIN of the company acquired through asset acquisition.
  4. New company contact information including, name, title, email, and phone number, if applicable.
  5. Specify which company is the acquiring company, and which company or establishments are the acquired company or establishments (company ID of all will be useful).
    1. If the acquiring company acquired a small company that otherwise would not be required to file the EEO-1 Component 1 Report, or has not previously filed, the acquiring company Name.

Timing of Company Changes

How does a company handle filing both 2019 and 2020 EEO-1 Component 1 Reports if a merger, acquisition, spinoff, or bankruptcy occurred in the past two years?

For both 2019 and 2020, report according to the status of the company during the workforce snapshot pay period selected for each year. This may be before or after the company change, and it may result in reporting differently for 2019 vs 2020. For example, a company that experienced a merger in 2020 would report 2019 data according to its pre-merger status in 2019, then a merger would need to be processed in the system for 2020, and the 2020 filing would report data according to the post-merger status.

Professional Employer Organizations (PEOs)

 

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Considerations for PEOs and Client Companies of PEOs

Is a Professional Employer Organization (PEO) choosing to prepare and file your company’s 2019/2020 EEO-1 Component 1 report(s)?

If so, please ensure a report is filed for your company. It is the responsibility of your company to ensure a report is filed on your behalf. If a PEO is choosing to prepare and file your report, please contact the PEO to ensure it has your necessary information to file.

If a PEO is choosing NOT to prepare and file your company’s 2019/2020 EEO-1 Component 1 report(s), please ensure that you register your company in the Online Filing System to submit your required reports.

If your company is a first time filer (i.e., neither the company nor a PEO has ever filed a report for the company), please visit EEOCdata.org/eeo1, navigate to the registration page, and follow the online instructions for companies filing for the first time. After submitting the registration form, a filer will receive a Company ID and Passcode. This will be used to create accounts for your company.

If a PEO filed your company’s 2018 EEO-1 Component 1 report, please contact the EEO-1 Component 1 Filer Support Team through the filer support page ‘Contact Us’ Form. The Filer Support Team will need to spin-off your company from the PEO prior to your company filing.

If my company is a current client of a PEO but the PEO is not preparing and filing my 2019 and/or 2020 EEO-1 Component 1 report(s), how do I obtain prior year reports filed by the PEO on my company’s behalf?

You should contact your current PEO to obtain those reports.

If my company is a former client of a PEO, how do I obtain prior year reports filed by the PEO on my company’s behalf?

You should contact your former PEO to obtain those reports.

If a PEO is choosing to file 2019/2020 EEO-1 Component 1 report(s) on behalf of its client companies, is the PEO required to report the employees of client companies that do not otherwise meet the EEO-1 Component 1 filing thresholds?

No. If a client company of a PEO is not otherwise subject to the EEO-1 Component 1 filing requirements, that client company is not required to file an EEO-1 Component 1 report simply by virtue of being party to a PEO arrangement. Consequently, in that instance, neither the ineligible client company nor the PEO is required to include the employee data of the ineligible client company on the EEO-1 Component 1 report. For example, a single establishment company that is not a federal contractor and has less than 100 employees would not meet the eligibility thresholds requiring it to file an EEO-1 Component 1 report. Thus, neither this company nor its PEO would be required to report its employees for purposes of the EEO-1 Component 1 report.

If a PEO is choosing to file 2019/2020 EEO-1 Component 1 report(s) on behalf of its client companies, which EIN does a PEO use to file for client companies’ establishments?

For purposes of the 2019/2020 EEO-1 Component 1 data collection, a PEO should use its own EIN for its own establishments. The PEO should use the EIN associated with each of the client company’s establishment(s).

If a PEO is not providing EEO-1 reporting services for ALL a client company’s employees, is the PEO permitted to file an EEO-1 Component 1 report on behalf of the client company for just part of the client company’s employees?

No. Partial workforce PEO arrangements are not permitted in EEO-1 Component 1 Reporting. In such a situation, the client company is responsible for filing an EEO-1 Component 1 report(s). The client company, not the PEO, must file an EEO-1 Component 1 report for all its employees.

If a PEO is choosing to file 2019/2020 EEO-1 Component 1 report(s) on behalf of its client companies, which NAICS code(s) should a PEO use for its headquarters and any establishment reports?

For purposes of the 2019/2020 EEO-1 Component 1 data collection, a PEO filing a Headquarters Report for its own organization should use the NAICS (North American Industry Classification System) code for PEOs which is 561330 – Professional Employer Organizations. Additionally, a multi-establishment PEO should use this NAICS code for each of its own establishments. A PEO choosing to file establishment reports for the establishments of its client companies should use a NAICS code based on the major business activity at each client company establishment. To identify the correct NAICS code for each establishment, please reference this 2012 to 2017 NAICS crosswalk .

Special Instructions for PEOs using the Data File Upload Option

Prior to utilizing the Data File Upload function, PEOs should review and complete special instructions on which clients to include and how to report client list changes. Please view the Special Instructions for PEOs using the Data File Upload Option to review this information.

Administrative Services Organizations (ASOs)

 

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Considerations for ASOs

Are there special procedures for ASO filers, or people responsible for filing for multiple companies?

The filing system now allows for users to link multiple companies to an individual account. A filer will first set up an individual account using one Company ID and passcode. Once this individual account is created, the filer can link additional companies to that account using the Company ID and passcode for those companies. The filer will file separate EEO-1 Component 1 Reports for each company and certify each company’s EEO-1 Component 1 Report separately.

Please keep in mind:

  • Each individual account in the EEO-1 Component 1 Online Filing System can be linked to one or more companies.
  • A filer must have the Company ID and passcode for each company to link the company to their individual account.
  • A filer can complete the EEO-1 Component 1 Report for each company linked their account separately.

Data Submission

 

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Registration and Log In Troubleshooting

If a filer is new and registered online but didn't receive a Company ID and Passcode on the screen, do they need to register again?

No. After registering an account, filers should be able to log in to the account using the username (email address) and the user account password created in the registration and account creation process. After logging into the EEO-1 Component 1 Online Filing System, filers can access their Company ID.

However, if a company is not listed when a filer logs into a user account, please use the filer support page ‘Contact Us’ Form to contact the EEO-1 Component 1 Filer Support Team so they can look up the filer login information and provide the information via email.

Troubleshooting missing login information.

To recover a password, a registered filer would select ‘forgot password’ from the EEO-1 Component 1 Log In page. This directs filers to the password recovery page that will request the registered filer’s username. Enter the email from the account used during registration. The EEO-1 Component 1 Online Filing System will send a password reset link to the email address on record. Follow the instructions at this link to reset the user password. The password reset link expires at midnight.

EEO-1 Component 1 Online Filing System

How do filers save entries within the EEO-1 Component 1 Online Filing System?

As filers move from one screen to another, the EEO-1 Component 1 Online Filing System saves filer progress. Please select ‘Save and Continue Later’ at the bottom of the screen before navigating away from the EEO-1 Component 1 Online Filing System. There is no need to select this option on every screen, just on the final screen before leaving the EEO-1 Component 1 Online Filing System. After selecting ‘Save and Continue Later’, filers can close the browser and return another day to finish.

How can filers print an EEO-1 Component 1 Report for their records?

After certification, filers may print the report by selecting ‘Report’ in the Company Dashboard in the EEO-1 Component 1 Online Filing System. We are currently in the process of adding an enhancement to the Online Filing System which will allow filers to print multiple reports at once. This enhancement is tentatively scheduled for release the week of June 28th. We will provide an announcement on the EEO-1 home page once this functionality is available.

How does the EEO-1 Component 1 Online Filing System indicate filers are finished?

As filers complete each step of the process on the Company Dashboard, each step will change from ‘Active’ to ‘Complete’. After the ‘File/Upload EEO-1 Component 1 Report’ is shown as “Complete,” the ‘Review EEO-1 Component 1 Reports’ and the ‘Certify EEO-1 Component 1 Reports’ steps will become ‘Active.’ Reviewing reports is not required, but is encouraged to prevent errors. When the ‘Certify EEO-1 Component 1 Reports’ step is ‘Active’, select that step to complete the certification process. Filers will then proceed to a screen to enter Certifying Official information and certify the Report. Filers will receive an email indicating that the EEO-1 Component 1 Report was certified.

Report Types Overview

How many EEO-1 Component 1 Reports is a single-establishment company required to submit?

A single-establishment company is required to submit only one EEO-1 Component 1 Report - a Type 1 EEO-1 Component 1 Report.

How many EEO-1 Component 1 Reports is a multi-establishment company required to submit?

Multi-establishment companies are required to submit the following types of EEO-1 Component 1 Reports:

  • Type 2 - Consolidated Report (Required) - The Consolidated Report must include all employees of the company categorized by race/ethnicity, sex and job category. This report is generated automatically based on the data from the other reports.
  • Type 3 - Headquarters Report (Required) - The Headquarters Report must include employees working at the main office site of the company and those employees that work from home that report to the headquarters office. Employment data must be categorized by race/ethnicity, sex and job category. A separate EEO-1 Component 1 Report for the headquarters establishment is required even if there are fewer than 50 employees working at the headquarters establishment.
  • Type 4 - Establishment Report - A separate EEO-1 Component 1 Type 4 Report must be submitted for each physical establishment with 50 or more employees. Employment data must be categorized by race/ethnicity, sex and job category.
  • Sites with Fewer than 50 Employees:
    1. Type 8 - Establishment Report - A separate EEO-1 Component 1 Report must be submitted for each establishment employing fewer than 50 employees. Like the Type 4 - Establishment Report, Type 8 Report employment data must also be categorized by race/ethnicity, sex and job category.
      OR
    2. Type 6 - Establishment List Report - The establishment name, complete address and total number of employees must be provided for each physical location where fewer than 50 employees are working. These reports are only available for filers that have used Type 6 Establishment List Reports in the past.

      NOTE: If a filer uses a Type 6 Establishment List Reports, they MUST manually enter data categorized by race/ethnicity, sex and job category to the Type 7 – Reconciliation Report.

What is the Reconciliation Report and why is it appearing?

The Reconciliation Report (Type 7) is associated with the use of Type 6 Establishment List Reports for establishments with fewer than 50 employees.

The report displays the total number of employees entered in all Type 6 Establishment List Reports. Filers must enter the race/ethnicity, sex and job category data of all employees included in the Type 6 Establishment List Reports. The EEO-1 Component 1 Online Filing System will use this Type 7 Reconciliation Report along with Detailed Establishment Reports (Type 4, if any) and the Headquarters Report to auto-populate the Type 2 Consolidated Report.

Previously, filers had to manually enter all company data into the Type 2 Consolidated Report, and the Type 7 Reconciliation Report would display discrepancies with the Type 2 Consolidated Report. The new version of the Type 7 Reconciliation Report will improve data accuracy and reduce errors.

Changing Report Types from Previous Collections

If a multi-establishment company has previously filed Type 6 Establishment List Reports, can they switch to Type 8 Report or vice versa? (Note that this question only applies to multi-establishment companies.)

A company that has previously filed Type 8 Reports may not switch to Type 6 Establishment List Reports. If a company would like to convert their previously filed Type 6 Establishment List Reports to Type 8 Reports please use filer support page ‘Contact Us’ Form to contact the EEO-1 Component 1 Filer Support Team for assistance with the conversion.

Keep in mind that with the Type 6 Establishment List Reports, filers must manually enter employment data categorized by race/ethnicity, sex, and job category into the Reconciliation Report for all employees included in the Type 6 Establishment List Reports.

What happens to a Type 6 Establishment List Report if more than 50 employees are entered into it?

When a filer updates an establishment’s total employee count in the EEO-1 Component 1 Online Filing System, the filer will receive a warning that says, “The Number of Employees entered in this Type 6, Less Than 50 Employees Report, is more than 49. If this is incorrect, correct the entry for Number of Employees. If correct, click ‘Next’ and the system will convert the report to a Type 4, 50 Or More Employees Report.” After confirming the number of employees is correct, the EEO-1 Component 1 Online Filing System will automatically convert an establishment from a Type 6 Establishment List Report to a Type 4 Report and allow filers to proceed with filing.

Determining if a Report should be Filed

Does a company have to file a report for an establishment if it has zero employees?

No. Companies should delete locations where workers are no longer employed. If the establishment was included in the company’s last EEO-1 Component 1 Report, it will appear in the EEO-1 Component 1 Online Filing System. These locations should be deleted.

If some establishments have different Employer Identification Numbers (EINs) from the Headquarters, do filers need to provide this information in each report?

Yes, companies must provide the Employer Identification Number (EIN) in the establishment information section of each report. Companies must file a report for each establishment.

If a company has several establishments can they report the entire workforce on the Headquarters Report?

No. Employment data must be entered separately for each establishment of the company.

Each multi-establishment company will have a Consolidated Report, Headquarters Report, and a report for each establishment. Companies are required to enter employment data by each establishment. The Consolidated Report will auto-populate based on the data entered.

If a company only enters an establishment’s total employment data by using a Type 6 Establishment List Report, the company will need to create a Reconciliation Report that reports sex and race/ethnicity data by job category for all employees included in the Type 6 Establishment List Reports.

Certification

What happens if a filer does not complete the Certify EEO-1 Component 1 Reports step?

If a filer fails to complete the Certify EEO-1 Component 1 Reports step within the EEO-1 Component 1 Online Filing System, the status of the company’s filing will be considered incomplete by the EEOC. If the company’s submission is not certified by the filing deadline, the EEOC will send the company a notification of Failure to File letter. This letter will request that the company certify its data in order to complete its required filing.

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